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In this issue we discuss, among other things, an update to SEC FAQs regarding compliance with the Advisers Act marketing rule, and a recent enforcement action involving a portfolio manage...
Our Winter Forecast looks at the landscape for financial regulatory reform across a number of regulatory topics and across agencies. We expect 2023 will be an active year and hope you fi...
The Federal Trade Commission (FTC) has announced revised Hart-Scott-Rodino Act (HSR) reporting thresholds and filing fee amounts, up to a $2.25 million fee for the largest deals. Under th...
On January 17, 2023, Assistant Attorney General Kenneth Polite announced changes to DOJ’s corporate enforcement policies, including applying the FCPA Corporate Enforcement Policy to all c...
The Treasury Department advised Congress last week that the government is expected to reach its debt limit on January 19. After that, Treasury will be required to take “extraordinary me...
The SEC has proposed a package of reforms to equity market structure rules that would make significant changes, including to how stock orders are priced, executed and reported.
In a sweeping and controversial move, the FTC has proposed a rule that would bar almost all employment non-competes and require rescission of existing non-competes. The proposed rule is s...
On Tuesday, December 27, 2022, the IRS released a notice that describes proposed regulations that the IRS intends to issue addressing the application of the new corporate alternative mini...
In this issue, we discuss, among other things, a risk alert issued by the SEC’s Division of Examinations on compliance examinations related to identity theft prevention under Regulation...
On Tuesday, December 27, the IRS released a notice that describes proposed regulations that the IRS intends to issue addressing the application of the 1% stock repurchase excise tax that ...